Appraisal Report Functions, Activities and Records Evaluation. Appraisal Report Functions, activities and records evaluation for New Zealand Police

Transcription

1 Appraisal Report Functions, Activities and Records Evaluation Appraisal Report Functions, activities and records evaluation for New Zealand Police

2 Table of Contents Appraisal Report 4 Purpose 4 Scope and Coverage 4 Format 4 Agency Information 4 Recordkeeping Environment 6 Operational Information Systems 6 Corporate Information Systems 6 Methodology 6 Gap Analysis 6 Use of Precedent 7 Application of Appraisal Criteria 7 Consultation 8 Internal Consultation 8 External Consultation 8 Structure of the Report 9 Part One: Offence and Incident Records 10 Overview 10 Methodology 10 Class s for Offence Records 11 Class 01 Homicide and Related Offences 12 Class 02 Acts Intended to Cause Injury 12 Class 03 Sexual Assault and Related Offences 12 Class 05 Abduction, Harassment and Other Offences against the Person 13 Class 06 Robbery, Extortion and Related Offences 13 Class 07 Unlawful Entry with Intent/Burglary, Break and Enter 13 Class 08 Theft and Related Offences 13 Class 09 Fraud, Deception and Related Offences 14 Class 10 Illicit Drug Offences 14 Class 11 Prohibited and Regulated Weapons and Explosives Offences 15 Class 12 Property Damage and Environmental Pollution 15 Class 13 Public Order Offences 15 Class 14 Traffic and Vehicle Regulatory Offences 16 Class 15 Offences against Justice Procedures, Government Security and Government Operations 16 Class 16 Miscellaneous Offences 17 Value Statements for Offence Records 17 Category 4 Offences 17 Category 2 and Category 3 Offences 18 Category 1 offences 18 Incident Files 18 Video and Digital Evidence 19 Part Two: Non Offence Records 20 Class 1: Accountability, Governance and Strategic Management 20 Class Commissioner of Police Records 20 Class Governance Records 21 2

3 Class 2: Policy and Procedures 22 Class Policy Advice 22 Class Liaison 23 Class Police Instructions 23 Class 3: Research and Evaluation 25 Class Programme Management 25 Class Committees and Working Groups 25 Class Surveys 26 Class Liaison and Advice 27 Class 4: Professional Conduct 28 Class 5: Māori, Pacific and Ethnic Services 29 Class 6: Human Resources and Personnel 31 Class Personnel Files for Sworn Officers 31 Class 7: Prevention 33 Class 8: Response 35 Class Border Security 35 Class Communications Centres 36 Class Counter Terrorism 37 Class Departmental Security 38 Class National Bomb Data Centre 38 Class Search and Rescue 39 Class Specialist Searches 40 Class Staff Uniforms and Equipment 41 Class 9: Investigation 43 Class Arms Control 43 Class Criminal Intelligence 44 Class Forensic Evidence 45 Class Photographs and Digital Images 47 Class Interpol 48 Class Missing Persons 49 Class Vetting and Validation 50 Class 10: Road Policing 52 Class Strategic Development and Planning 52 Class Standards and Training 53 Class Commercial Vehicle Investigations 53 Class Calibrations 54 Class Infringement Notices 55 Class Film, Digital and Voice Recordings 56 Class Payments 56 Class 11: Police Dogs 58 Class 12: Station Records 59 Class 13: Police Notebooks 61 Class 14 Training Service Centre 62 Historical Records 65 Access Recommendations 66 Appendix 1: Police Staff Consulted 67 Appendix 2: Offence Records Recommended for Transfer to Archives New Zealand 70 3

4 Appraisal Report File/Document ID Agency Contact Name and Details 2015/0310, A New Zealand Police [Name and details removed] Date 22 June 2016 Purpose The current NZ Police disposal authority (DA224) is due to expire in May Police wish to revise the schedule to allow for a continuing disposal authority and to ensure that a new schedule is fit for purpose in Police s increasingly digital environment. Scope and Coverage This schedule applies to all records created and received by Police. It covers incident and offence records and non-offence records. The records may be current, non-current or yet to be created. They may be created or received by Police via: Police National Headquarters District Offices Individual Stations Royal New Zealand Police College Service Centres. Format The schedule covers records in all formats. Agency Information The functions of the Police are set out in the Policing Act 2008 and include: (a) (b) (c) (d) Keeping the peace Maintaining public safety Law enforcement Crime prevention 4

5 (e) (f) (g) (h) Community support and reassurance National security Participation in policing activities outside New Zealand Emergency management. Police is a Non-Public Service department that provides policing services in New Zealand. Police works in partnership with other government agencies, private sector organisations, community groups and individuals to prevent crime and road trauma, enhance public safety and maintain public order. The Commissioner of Police, who is appointed by the Governor General on the advice of the Prime Minister, is responsible to the Minister of Police for the administration of policing services and the general conduct of the Police. However, the Commissioner is not responsible to, and must act independently of, any Minister of the Crown regarding the maintenance of order, enforcement of the law, the investigation and prosecution of offences, and decisions about individual Police employees. Police National Headquarters is the base for various groups with a national and international focus, for instance Maori Pacific and Ethnic Service, the National Intelligence Centre, the Police Prosecution Service, the National Criminal Investigations Group, the National Prevention Centre, Road Policing, the Response and Operations Group, the Organised and Financial Crime Agency of New Zealand (OFCANZ), and the International Services Group. The Royal New Zealand Police College (RNZPC), located in Porirua, plays a key part in preparing police staff to perform their roles in an increasingly diverse and complex society. From the provision of initial training to staff at entry level through to promotional development and specialist courses, capability is built to achieve Police s strategic goals of ensuring everyone in New Zealand can be safe and feel safe. New Zealand Police is divided into twelve districts, as illustrated below. Each district has a District Commander and a team of Area Commanders who manage the day-to-day operations. 5

6 Recordkeeping Environment Operational Information Systems The National Intelligence Application (NIA) is the main operational system for records and case management. It is used to retain and manage records of offences, locations, people and vehicles, and to provide workflow support for cases from collection of the initial case details through to case closure. Other key operational systems, such as those for response and deployment, major investigations, criminal intelligence, infringement processing, non-urgent crime reporting, emergency management and forensic photography, all incorporate recordkeeping aspects. The File Management Centre (FMC) in each District receives and processes all new electronic and paperbased offence and incident files. Cases are primarily generated through the Crime Reporting Line, from public counters at Police stations and through staff attending incidents. FMC staff assess the quality of the case files and screen them. All volume crimes (such as burglary or car theft) undergo an Initial File Assessment (IFA) and, if those cases fall below the IFA threshold, are subject to Early Case Closure. FMC staff provide updates to all victims regarding the status of their case including whether the case is closed. They also assign all cases requiring further investigation to the appropriate Police workgroup and undertake a wide range of administrative functions in support of case management. Corporate Information Systems Electronic Records The main corporate information systems comprise file shares at Police National Headquarters (PNHQ), the Royal New Zealand Police College and at each Police station, and a range of SharePoint sites. These systems provide workflow support and data repositories for the creation and tracking of documents and multimedia on the network that do not exist within core operational systems. They also include various information repositories for on-line training, Police Instructions and general information. Other major corporate information systems centre on human resources and financial management. Within the records management system the vast majority of records are digital. As a record creator and a record steward each Police employee (including contractors and volunteers) currently saves information into Police applications and file shares. Hard Copy Records A focused effort on applying retention and disposal actions as per the Police Retention and Disposal Schedule and the General Disposal Authorities to physical files held in on-site storage has been underway for the last 18 months. Now the focus is turning to a similar exercise for approximately 62,000 boxes of physical files held with Police s off-site storage provider. Methodology Gap Analysis A gap analysis was undertaken to identify the key changes that had taken place since the development of the last schedule. The key changes identified were: New activities (for example in the area of financial crime) Implementation of new technologies, particularly for structured data Updates in case file management practices 6

7 Updates to other Justice Sector agency schedules (e.g. Courts, Corrections) Changes in legislation Introduction of new offences and offence codes. Use of Precedent A model RDS was drafted for consultation across Police. This model was based on the decisions made in the existing Police Disposal Authority (DA224). The additional functions and activities identified were added. A decision was also made to streamline the structure of the current schedule in relation to groupings of classes. The core elements of the Police Operating Model - Prevention, Response, Investigation and Resolution - have been used to group classes of records; the first three in regard to non-offence records and the last in regard to offence records. Some activities will cover more than one core element of the model, in which case they are grouped under what is considered to be the predominant element. For instance, while the bulk of missing persons cases are resolved at the initial Response stage a small percentage become ongoing Investigations which may or may not be resolved in the medium to long term. Other activities, for instance, road policing, cover all core elements and are therefore allocated their own record class. Prevention Response Investigation Resolution Figure 1: Core elements of Police Operating Model Some specific operational areas (for example Training, Police dogs) have been addressed as separate classes. Application of Appraisal Criteria The Archives New Zealand Appraisal Criteria were applied when determining the value of Police records: Criteria 1 - Business value Records that are fundamental to the ability of a public office or local authority to carry out its business and enable continuity of services to the New Zealand public. Criteria 2 - Accountability Records that are fundamental to providing citizens with trust in government; providing evidence of the wellbeing of the community and the impact of government activities on them, in compliance with relevant legislation and regulations. Criteria 3 - Rights and entitlements Records providing evidence of the legal status and fundamental rights and entitlements of individuals and groups. Criteria 4 - Legitimacy of Authority Records that identify and document the source of authority and foundation of the machinery of government of New Zealand and its public sector bodies. 7

8 Criteria 5 - Te Tiriti o Waitangi /Treaty of Waitangi Records that provide evidence of recognition and respect for, fulfilment of or aspirations to Te Tiriti o Waitangi /Treaty of Waitangi principles and the Crown s obligations, or in the absence of this, evidence of failure to fulfil obligations and/or principles. Criteria 6 - Knowledge Records that will substantially contribute to knowledge and understanding of New Zealand, its history, geography, society, culture and achievements and New Zealanders sense of their national identity. Consultation Internal Consultation The following consultation has been undertaken within Police: All staff were notified of the Retention and Disposal Schedule project via the Police Bulletin Board. Staff representatives from business units across PNHQ were interviewed and asked to comment on the draft schedule. A survey was sent to File Case Managers in each of the districts to identify any issues associated with the current schedule. Regular updates were provided to the Police Information Management and Assurance Group Discussions regarding the criteria for retention of serious case files and associated video and digital recordings were held at the Police Crime Managers Forum. Following these discussions a working group was set up to revise criteria for categorising offence files for retention and disposal. A senior representative from Archives NZ attended part of the working group session to provide feedback on various proposals. Discussion papers were presented at the Police Crime Managers Forum and the working group sessions. Consultation visits were made to the following District Offices: Counties-Manukau (with representatives from Auckland Central, Waikato and Waitemata in attendance), Wellington (with representatives from Wellington and Central in attendance), and Christchurch. A list of Police staff consulted can be found in Appendix 1. External Consultation Nine agencies and three organisations were asked to provide comment on the draft appraisal report and schedule, namely: Crown Law Office Department of Corrections Ministry of Justice Ministry of Social Development Ministry of Transport New Zealand Customs Service New Zealand Transport Agency Serious Fraud Office Te Puni Kōkiri 8

9 ARANZ (Archives and Records Association of New Zealand) PHANZA (Professional Historians Association of New Zealand/Aotearoa) Institute of Criminology, School of Social and Cultural Studies, Victoria University of Wellington The feedback received was taken into consideration and, where appropriate, incorporated into the report and schedule. Most comments received were of a relatively minor nature resulting in only minor changes to retention actions and some time periods. Structure of the Report Part One: Offence and Incident Records This Part discusses the offence and incident records in detail, including the selection criteria. The criteria applied to determine the retention and disposal actions is discussed in detail. Part Two: Non Offence Records This Part discusses all of those Police records that do not fall within the description of Offence and Incident files, including Police s corporate records not covered by General Disposal Authority GDA6. It provides detailed discussions on the different class of records and recommendations for disposal decisions. 9

10 Part One: Offence and Incident Records Overview The current Police schedule uses the following criteria to determine which offence files should be either transferred to Archives New Zealand or destroyed: The disposition of criminal proceedings, as set out in the Crimes Act, 1961; Penalties; Quantities of Records; Social attitudes and new offences; Unusual Crimes; The Department for Courts Schedule, developed in Police considers that overall, these criteria remain appropriate, but notes that the disposition of criminal proceedings is now governed by the Criminal Procedure Act 2011 (CPA). Police also has had due regard to the Courts Schedule, which was updated in The CPA introduced the biggest overhaul of the criminal justice system in 50 years. The changes introduced aimed to simplify court processes and cut out unnecessary steps. One of the key changes was the reworking of the existing seven offence categories into four new simpler categories. These new offence categories, which determine how offences in each category are to proceed, are in general terms: A Category 1 offence is an offence not punishable by imprisonment; A Category 2 offence is an offence punishable by imprisonment for less than 2 years; A Category 3 offence is an offence, not being a Category 4 offence, punishable by imprisonment for life or by imprisonment for 2 or more years; A Category 4 offence is an offence specified in Schedule 1 of the CPA. Discussions were held at the Police Crime Managers Forum (the Forum) and it was agreed it would be appropriate to apply the categories to assist in determining retention and disposal periods for offence files. The Forum established a working group to test the validity of this approach. The Forum also discussed the issue of video and digital evidence associated with offence files. Video and digital format is not covered by the current schedule. The Forum confirmed that video and digital evidence is an integral part of the case file. It has high evidential value and should be retained as long as the file is required. The working group was asked to discuss the issue of permanent video retention with Archives New Zealand. Methodology The Working Group identified all incident and offence codes, as recorded in the Police National Intelligence Application (NIA). These codes were grouped according to the type of offence (e.g. Homicide and related offences) and the sub offences (e.g. Murder, Attempted Murder). The categories as stated in the Criminal Procedure Act were then applied as part of the appraisal process which maintained the following criteria: 10

11 Seriousness of offence drawing on categorisation under the CPA; Penalties the legislated maximum penalty for an offence, not the actual penalty handed down at sentencing of an individual offender; Quantity of records for high volume offences, e.g. burglary, other criteria would need to apply before any such record could be considered for transfer to Archives NZ; Social attitudes and new offences Changing social attitudes can have an impact on public perception of the significance of some crimes; Unusual crimes crimes that are rarely committed or are of an unusual nature. The detailed recommendations for each code can be found in the RDS Schedule. The opportunity was also taken to examine the current retention periods for all offence codes to ensure that the retention periods are adequate. At the request of Archives New Zealand the retention period for those offence files identified as being transferred to Archives New Zealand has been increased from 10 years after date of closure to 15 years after date of closure. The retention periods for certain offence records have been increased to ensure they meet Police operational needs. Of particular note is the change in retention period and disposal action for many sexual offences. Under the previous Police schedule the retention period for sexual offences ranged from 5 to 10 years and then destroy, and 10 years and then transfer to Archives NZ for more serious offending. The bulk of these offence records is now recommended to be retained for 20 years and then destroy for concluded cases. The rationale behind this was based on a number of considerations including: the seriousness of offences; the volume of cases/records year on year; evidence rules about victim/witness statement recordings including transcripts (destroy at 10 years for Court-related cases or 7 years from interview if no proceedings taken); the likelihood of needing the cases for propensity evidence against repeat offenders; the information on the files that would have to be redacted or removed to comply with statutory rules, court suppression orders and privacy concerns relating to both victim and offender identification, reducing the case record archived to a shell of limited research value; very low level of victims requesting case detail well after the case was concluded; statistics being available for researchers rather than individual case detail. The criteria above have been applied in conjunction with the appraisal criteria statements. Class s for Offence Records Offence Records are divided into 16 records classes, with two levels of sub-class. Each class, along with its first level sub-classes, is described below. The following class descriptions are based on descriptions set out in the Australia and New Zealand Standard offence Classification (ANZSOC) 2011 (Third Edition). Not all subclasses are necessarily used in Police s National Intelligence Application (NIA), hence sub-classes may not always follow a strict numerical sequence, e.g. the sub-classes under Class 02 (Acts Intended to Cause Injury). 11

12 Class 01 Homicide and Related Offences Unlawfully kill, attempt to unlawfully kill or conspiracy to kill another person Class 011 Murder The unlawful killing of another person where there is one or more of the following: (a) the intent to kill; (b) the intent to cause grievous bodily harm with the knowledge that it was probable that death or grievous bodily harm would occur (reckless indifference to life); or (c) without intent to kill in the course of committing a crime (felony murder). Class 012 Attempted Murder The attempted unlawful killing of another person where there is either the intent to kill or to cause grievous bodily harm with the knowledge that it was probable that death or grievous bodily harm would occur (reckless indifference to life) but where death did not actually occur. Class 013 Manslaughter The unlawful killing of another person while deprived of the power of self-control by provocation, or under circumstances amounting to diminished responsibility or without intent to kill, as a result of a careless, reckless, negligent, unlawful or dangerous act (other than the act of driving). Class 02 Acts Intended to Cause Injury Acts, excluding attempted murder and those resulting in death (Class 01), which are intended to cause nonfatal injury or harm to another person and where there is no sexual or acquisitive element. These comprise: Class 021 Assault The direct (and immediate/confrontational) infliction of force, injury or violence upon a person or persons or the direct (and immediate/confrontational) threat of force, injury or violence where there is an apprehension that the threat could be enacted. Class 029 Other Acts Intended to Cause Injury Acts involving the indirect and non-confrontational infliction of harm, injury or violence upon a person. Class 03 Sexual Assault and Related Offences Acts, or intent of acts, of a sexual nature against another person, which are non-consensual or where consent is proscribed. Class 031 Sexual Assault Physical contact, or intent of contact, of a sexual nature directed toward another person where that person does not give consent, gives consent as a result of intimidation or deception, or consent is proscribed (i.e. the person is legally deemed incapable of giving consent because of youth, temporary/permanent (mental) incapacity or there is a familial relationship). Class 032 Non-Assaultive Sexual Offences Offences of a sexual nature, or intent thereof, against another person that do not involve physical contact with the person and where the person does not give consent, gives consent as a result of intimidation or deception, or consent is proscribed (i.e. the person is legally deemed incapable of giving consent because of youth, temporary/permanent (mental) incapacity or there is a familial relationship). 12

13 Class 05 Abduction, Harassment and Other Offences against the Person Acts intended to threaten or harass, or acts that unlawfully deprive another person of their freedom of movement, that are against that person s will or against the will of any parent, guardian or other person having lawful custody or care of that person. Class 051 Abduction and Kidnapping The unlawful confinement of a person against that person s will, or against the will of any parent, guardian or other person having lawful custody or care of that person. Class 052 Deprivation of Liberty/False Imprisonment The unlawful confinement of a person against that person s will, or against the will of any parent, guardian or other person having lawful custody or care of that person, and not involving the taking away of the person. Class 053 Harassment and Threatening Behaviour Actions that harass or are intended to harass, threaten or invade the privacy of an individual, not amounting to an assault, sexual assault, stalking, blackmail or extortion. The action can be face-to-face, written, or made through a carriage service (e.g. phone, computer etc.). Class 06 Robbery, Extortion and Related Offences Acts intended to unlawfully gain money, property or other items of value from, or to cause detriment to, another person by using the threat of force or any other coercive measure. Class 061 Robbery The unlawful taking of property, with intent to permanently deprive the owner of the property, from the immediate possession, control, custody or care of a person, accompanied by the use, and/or threatened use, of immediate force or violence. Class 062 Blackmail and Extortion The unlawful demanding with intent to gain money, property, or any other benefit from, or with intent to cause detriment to, another person, accompanied by the use of coercive measures, to be carried out at some point in the future if the demand is not met. This may also include the use and/or threatened use of face-to-face force or violence, provided there is a threat of continued violence if the demand is not met. Class 07 Unlawful Entry with Intent/Burglary, Break and Enter The unlawful entry of a structure with the intent to commit an offence, where the entry is either forced or unforced. A structure is defined as a building that is contained by walls and can be secured in some form. This includes, but is not limited to, the following: dwelling (e.g. house, flat, caravan), office, bank, shop, factory, school, and church. Class 08 Theft and Related Offences The unlawful taking or obtaining of money or goods, not involving the use of force, threat of force or violence, coercion or deception, with the intent to permanently or temporarily deprive the owner or possessor of the use of the money or goods, or the receiving or handling of money or goods obtained unlawfully. Class 081 Motor Vehicle Theft and Related Offences 13

14 The taking of another person s motor vehicle illegally and without permission, with the intent of temporarily or permanently depriving the owner/possessor of the use of the motor vehicle. Additionally, the taking of another person s motor vehicle parts or its contents illegally, whether or not this also involves the taking of the motor vehicle. Class 082 Theft (except Motor Vehicles) The unlawful taking or obtaining of money, goods, services (other than from motor vehicles) or nonmotorised vehicles, without the use of force, threat of force or violence, coercion or deception, with the intent to permanently deprive the owner or possessor of the use of the money or goods. Class 083 Receive or Handle Proceeds of Crime Receive, handle, process or possess money or goods taken or obtained illegally. Class 084 Illegal Use of Property (except Motor Vehicles) The taking of another person s property, other than a motor vehicle, illegally and without permission with the intent of temporarily depriving the owner or possessor of the use of the property. Class 09 Fraud, Deception and Related Offences Offences involving a dishonest act or omission carried out with the purpose of deceiving to obtain a benefit. Class 091 Obtain Benefit by Deception The use of deception or impersonation with the intent of dishonestly obtaining property, goods, services or other benefit, or to avoid a disbenefit. Class 092 Forgery and Counterfeiting Actions involving the making or use of false currency or the falsifying of official documents with an intention to deceive, obtain money, goods or services, or obtain a benefit or advantage. This includes the possession of equipment to make false/illegal instruments. Class 093 Deceptive Business/Government Practices Actions carried out by deceitful or dishonest conduct as part of trade or commercial business activity, with the intent to avoid liability or obtain an advantage, financial or otherwise. Class 099 Other Fraud and Deception Offences Other fraud and deception offences not included elsewhere in Class 09. Class 10 Illicit Drug Offences The possessing, selling, dealing or trafficking, importing or exporting, manufacturing or cultivating of drugs or other substances prohibited under legislation. The term drug is used to describe narcotics, opiates, hallucinogens and any other substance prohibited under legal control. Class 101 Import or Export Illicit Drugs Actions resulting or intended to result in either the importation of illicit drugs or controlled substances into Australia, or the exportation of illicit drugs or controlled substances from Australia. Class 102 Deal or Traffic in Illicit Drugs The supply or purchase of an illicit drug or controlled substance of any quantity, or the possession of an illicit drug or controlled substance where the amount involved is deemed to be of a quantity for commercial activity. Class 103 Manufacture or Cultivate Illicit Drugs 14

15 Actions resulting or intended to result in either the manufacture of controlled substances, or growing of plants used to make illicit drugs. Class 104 Possess and/or Use Illicit Drugs The possession of a non-commercial quantity and/or use of an illicit drug or other controlled substance. Class 109 Other Illicit Drug Offences Other illicit drug offences not elsewhere classified in Class 10, Illicit Drug Offences. Class 11 Prohibited and Regulated Weapons and Explosives Offences Offences involving prohibited or regulated weapons and explosives. Those offences also involving assault, sexual assault or robbery are coded to the relevant groups within Classes 021, Assault; 031, Sexual assault; and 061, Robbery respectively. Class 111 Prohibited Weapons/Explosives Offences Offences relating to weapons or explosives that are prohibited under legislation. Class 112 Regulated Weapons/Explosives Offences Offences relating to weapons or explosives that are legalised or regulated under legislation. Class 12 Property Damage and Environmental Pollution The wilful and unlawful destruction, damage or defacement of public or private property, or the pollution of property or a definable entity held in common by the community. For this class, destruction means altering the property in any way so as to render it imperfect or inoperative. Class 121 Property Damage The wilful and unlawful destruction, damage or defacement of property excluding pollution. For this class, property means something of a tangible nature, including money, land, conveyances or animals, capable of being owned either privately or publicly; and destruction means altering the property in any way so as to render it imperfect or inoperative, other than polluting. Class 122 Environmental Pollution Actions that result in the polluting of property. For this class, property is deemed to be the definable entities of air, water, noise, soil, or the environment, that are held in common by the community. Class 13 Public Order Offences Offences relating to personal conduct that involves, or may lead to, a breach of public order or decency, or that is indicative of criminal intent, or that is otherwise regulated or prohibited on moral or ethical grounds. In general these offences do not involve a specific victim or victims; however some offences, such as offensive language and offensive behaviour, may be directed towards a single victim. Class 131 Disorderly Conduct Offences involving personal conduct that is disorderly or is indicative of criminal intent. Class 132 regulated Public Order Offences Offences involving behaviour that is regulated or prohibited on moral or ethical grounds. Class 133 Offensive Conduct Offences involving personal conduct that is deemed offensive to members of the public. 15

16 Class 14 Traffic and Vehicle Regulatory Offences Offences relating to vehicles and most forms of traffic, including offences pertaining to the licensing, registration, roadworthiness or use of vehicles, bicycle offences and pedestrian offences. For the purposes of this class the definition of vehicle is any means of motorised or non-motorised transport in or on which something is carried, conveyed or travels. This includes but is not limited to: car, motorcycle, motorised caravan/campervan, truck, tractor, bus, train, tram, boat, aeroplane, bicycle, wheelchair, skateboard/skates/rollerblades, ride-on mower, horse, etc; and drive and operate are taken to be interchangeable terms for being considered in control of or in charge of a vehicle. Class 141 Driver Licence Offences Driver licence offences pertaining to the ownership or use of a driver s licence. (See Police Infringements and Traffic Offences section, Class E under the NZ Police Retention and Disposal Schedule, Part One: Offence and Incident Records). Class 142 Vehicle Registration and Roadworthiness Offences Offences relating to the registration or roadworthiness of the vehicle itself, rather than the manner in which the vehicle is being driven. For the purposes of this class, roadworthiness refers to the soundness of road, air and/or sea vehicles (See Police Infringements and Traffic Offences section, Class C under the NZ Police Retention and Disposal Schedule, Part One: Offence and Incident Records). Class 143 Regulatory Driving Offences Offences relating to the breaches of regulations governing the manner in which the vehicle is operated. (See Police Infringements and Traffic Offences section, Class A under the NZ Police Retention and Disposal Schedule, Part One: Offence and Incident Records). Class 144 Pedestrian Offences Offences relating to the breaches of regulations governing pedestrian traffic. (See Police Infringements and Traffic Offences section, Class E under the NZ Police Retention and Disposal Schedule, Part One: Offence and Incident Records) Class 15 Offences against Justice Procedures, Government Security and Government Operations An act or omission that is deemed to be prejudicial to the effective carrying out of justice procedures or any government operations. This includes general government operations as well as those specifically concerned with maintaining government security. Class 151 Breach of Custodial Order Offences An act or omission breaching the conditions of a custodial order. This includes offences relating to a person regaining their liberty unlawfully, as well as offences relating to a breach of the conditions specified within a home detention order or suspended sentence. Class 152 Breach of Community-Based Orders An act or omission prejudicial to the effective execution of justice orders which are served in the community. Note where the breach offence constitutes a new offence in its own right, both the new offence and the breach are to be counted. Class 153 Breach of Violence and Non-Violence Orders An act or omission breaching the conditions of a violence or non-violence related restraining order. Class 154 Offences against Government Operations 16

17 An act with the intent of resisting or hindering government officers, or government operations, other than police, justice or government security officers. Class 155 Offences against Government Security An act or omission prejudicial to effective enforcement of government operations concerned with the preservation of national security. Class 156 Offences against Justice Procedures An act or omission prejudicial to the effective carrying out of justice procedures other than justice orders. Class 16 Miscellaneous Offences Offences involving the breach of statutory rules or regulations governing activities that are prima facie legal, where such offences are not explicitly dealt with under any other division. If an offence is specified under regulation and involves an act that would be illegal under common law or general criminal legislation (e.g. assault on Occupational Health and Safety Inspector), then this offence should be dealt with under the appropriate generic group. Class 161 Defamation, Libel and Privacy Offences Actions intended to invade the privacy of, or to injure the reputation or good name of, an individual or company. Class 162 Public Health and Safety Offences Offences involving the breach of statutory rules or regulations intended to preserve or improve the safety or health of the community at large. Class 163 Commercial/Industry/Financial Regulation Breaches of regulations designed to protect an industrial, commercial or financial activity, comprising acts that are harmful to persons, or acquisitive or deceptive, and that are not directed at health and safety and pollution control (i.e. they cannot be appropriately placed elsewhere). Class 169 Other Miscellaneous Offences Other miscellaneous offences not elsewhere classified in Class 16, Miscellaneous Offences. Value Statements for Offence Records Category 4 Offences Category 4 offence records are recommended for transfer to Archives New Zealand as they fulfil the accountability, rights and entitlements, and knowledge criteria. These records document the Police performing their core function of investigating crime in New Zealand, and are fundamental in providing New Zealand citizens with trust in the Police in the performance of their duties; they establish the due process that is the right of all individuals that are being investigated, and record the pursuit of justice for victims of serious crime. They contribute to historic and contemporary understanding of serious crime and criminal behaviour in New Zealand society, and demonstrate the New Zealand Police s contribution to the social wellbeing of citizens through the prevention and resolution of crime. The Category 4 offence records recommended for transfer to Archives New Zealand are listed in Appendix 2. 17

18 Category 2 and Category 3 Offences The majority of Category 2 and 3 offences records are recommended for destruction as they document lower-level offending (compared to Category 4) and have short-to-medium term business value for the Police. They do not have archival value. However, there are some Category 2 and 3 offence records that are recommended for transfer to Archives New Zealand. These records fulfil the accountability, rights and entitlements, and knowledge criteria. They document the New Zealand Police performing their core function of investigating crimes that are also considered serious, unusual (e.g. impeding rescue), or have a high level of public interest (e.g. contamination of food or crops or other), or reflect social attitudes to a specific issue associated with a crime (e.g. AIDS, suicide). They establish the due process that is the right of all individuals that are being investigated for these crimes, and record the pursuit of justice for victims of those crimes. They contribute to the historic and contemporary understanding of serious and unusual crimes, as well as crimes that reflect social attitudes and solicit high public interest; and demonstrate the Police s contribution to the social wellbeing of citizens through the prevention and resolution of these crimes. The Category 2 and 3 offence records recommended for transfer to Archives New Zealand are listed in Appendix 2. Category 1 offences All Category 1 offence records are recommended for destruction. Offences recommended for destruction cover low level offending. These type of offences are only required by Police for a relatively short period of time in order to fulfil operational and evidential needs. Police manages its caseload using a 10 step workflow process for case management covering the key areas of Response, Investigation and Proceeding. In 2014/15 recorded crime involved around 370,000 offences. To manage such a caseload, cases are prioritised into 4 levels of priority: Mandatory, Critical, Priority and Volume. It is within this context that cases which are not intended to be transferred to Archives NZ are assigned retention periods of 3, 5, 10, or 20 years, with a disposal action of Destroy. Incident Files Incident files are files that that do not become offence records. Each incident has a code assigned to it and is entered into the Police National Intelligence Application, usually as a single form. In 2014/15 Police dealt with around 550,000 incidents. Incident files have been recommended for destruction. In general it is recommended that incident files are retained for three years prior to destruction. Longer retention periods may be applied to some files, for operational reasons, e.g. sudden death. Value Statement Incident files are recommended for destruction. Records of incidents are very high volume, and are only required by Police for a relatively short period to fulfil operational and evidential needs. 18

19 Video and Digital Evidence When the existing retention and disposal schedule was developed the decision was taken to address the issue of retention and disposal of video and digital recordings at a later date. A number of discussions have been held with Archives New Zealand on this issue in the course of the preparation of this new schedule. As noted, Police believe the digital and video evidence recording of a suspect that accompanies offence files is an integral part of the record. Under the Evidence Regulations 2007, video evidence from witnesses or victims must be destroyed after a set period of time. Video and digital evidence provided by suspects as part of the investigation into an offence are not covered by these regulations. Police intend to retain video and digital recordings of interviews with suspects on the grounds that it has high evidential value and the video evidence should be transferred with the file. Archives New Zealand have indicated that while the video evidence has evidential value they do not believe it has long term informational value and a transcript should suffice. A transcript will be prepared as part of the prosecution case for Court. If the suspect pleads guilty a transcript may not be prepared. In discussions with Archives New Zealand it was agreed that there may be some instances where the video and digital evidence could provide some informational value. This would be an exception that is judged on a case by case basis in discussion with Archives New Zealand. It is likely that exceptions would apply to high profile cases that have been of public interest. Video evidence for all remaining files would be retained by Police and held for as long as the retention period of the file. 19

20 Part Two: Non Offence Records Class 1: Accountability, Governance and Strategic Management This class covers the function of providing overall governance, oversight, strategic decision-making and accountability for Police. It covers records that are not included in the disposal classes concerning accountability in GDA6. This class includes sub classes for: Commissioner of Police Records Governance Organisation Design and Review Class Commissioner of Police Records Advice to the Commissioner of Police covers documented advice provided specifically to the Police Commissioner. Advice may be provided across a range of issues, including policy advice, relationship management, organisational strategy or a briefing on a particular event, person or issue. Strategic stakeholder relationship management records document the activities between the Police Commissioner and stakeholders that may not be covered by other classes of records. Commissioner of Police Correspondence records are communications from members of the public or other organisations where a response is required that is not a request for information. For example, correspondence from members of the public, expressing views on Policing or a particular law enforcement policy. Administrative Support to the Police Commissioner records consist of diary records, itineraries, copies of information supplied for reference purposes, invitations, congratulations and condolence messages. Value statement The Advice to the Commissioner of Police records provide evidence of the Police s strategic decision-making and planning. These are in addition to the records of leadership and governance groups, in which this advice may not be included. They provide evidence of the information the Police Commissioner uses to act independently when carrying out the law enforcement function, and demonstrate the legitimacy of the Police Commissioner s authority. They also provide an overview of the important or significant issues that the Police were dealing with at any given time. They are recommended for transfer to Archives New Zealand. The Strategic Stakeholder Relationship Management records provide evidence of and information about Police s strategic relationships and collaboration with external organisations in New Zealand and in particular the justice sector. These records will, over time, assist external researchers to understand how Police developed its strategic relationships and built partnerships with the Justice sector. They demonstrate the Police s accountability to government and citizens about how it consulted on and performed its functions and fulfilled its legislated mandate. These records are therefore recommended for transfer to Archives New Zealand. Police Commissioner administrative support and correspondence records are of a routine operational nature and recommended for destruction. Correspondence of archival significance, for example correspondence 20

21 from international organisations, will be picked up in the strategic stakeholder relationship management records (Class 1.1.2). Retention and Disposal Recommendation Advice to the Commissioner of Police Strategic stakeholder relationship management Recommended for destruction Commissioner of Police Correspondence Administrative support to the Commissioner of Police Class Governance Records Internal Leadership and Governance Groups - Police have a range of governance committees and advisory groups that support the decision making processes within the organisation and provide an additional level of governance with a specific focus on capability and risk. Examples include the Audit and Risk Committee. These groups have formal documentation of their meetings that includes agendas, reports and papers presented and minutes. Value Statement Governance records are recommended for transfer as public archives. They provide summary information at a high level about the performance of Police s functions and decisions and the information used to make those decisions through the reports and papers presented. These records demonstrate the Police s accountability and provide evidence of what decisions were taken by Police in relation to the development of law enforcement and the basis for these decisions. Retention and disposal recommendation Internal Leadership and Governance Groups Recommended for destruction None 21

22 Class 2: Policy and Procedures Class Policy Advice This class covers records documenting the function of development of policy advice to the New Zealand government and Ministers. Policy formation and advice is centralised in Police National Headquarters and covers a broad range of issues impacting on law enforcement (for example alcohol and drugs) as well as issues specific to policing (for example, operational issues, ethics, integrity and conduct). Value statement Records associated with the formulation of policy meet the accountability, legitimacy of authority, and knowledge (societal, a New Zealand identity, cultural) criteria. They demonstrate decisions made in relation to New Zealand Policing, how these decisions came about and the changes in policy directions over time. They document the nature of Police s operations, the extent of its powers and how those powers were exercised and provide important context about Police, its functions and operations over time. The records will be invaluable for research into what decisions were made about how frontlines services would be delivered, how the decisions came about and the changes in policy directions over time and will also assist in understanding the format and structure of other Police records. These records are therefore recommended for transfer to Archives New Zealand. The retention periods for Policy records have been set at 20 years. This period has been requested by the Policy group as they are often required to access and refer to policing policy developments over a reasonable length of time. Records of Police s comments on policy led by other agencies are recommended for destruction as the expectation is the lead agency will be retaining the authoritative set of records. They are required by the Police for business purposes only. Retention and Disposal Recommendations Policy Advice- Police lead Recommended for destruction Policy Advice- Led by other agencies 22

23 Class Liaison External Liaison records document the relationship with and provision of advice to external bodies. This includes government agencies, steering committees, private sector agencies and communities. Internal Liaison records document provision of advice within Police. Value statement External liaison records demonstrate Police s interaction with the broader community and development of relationships and advice to ensure community well-being. They provide evidence of how the Police interacts with its stakeholders, and also accountability and knowledge around its role in social well-being and keeping communities safe. These records are recommended for transfer to Archives New Zealand. Internal liaison records are of an operational nature and are recommended for destruction. Retention and Disposal Recommendations External Liaison Recommended for destruction Internal Liaison Class Police Instructions The development and publication of all administrative and operational policy, guidelines and instructions for Police is co-ordinated by the Corporate Instruments Team. A centralised database is maintained and contains all relevant documentation relating to this area, including: Memorandum of Understanding Agreements Protocols Service Level Agreements Police forms Delegations Local orders 23